Nautica Asset Management LLC

Nautica Asset Management LLC provides investment management and financial planning primarily to individual clients and pension or profit‑sharing plans, serving a small client base of 12 clients and reporting $1,000,892 in non‑discretionary assets under management as of December 31, 2025. Offerings include portfolio management, multiple tiers of retirement income and holistic planning services (Personal Wealth Builder, What’s Your Number, Retirement Income Plan, Holistic Financial Plan) and advisory work tailored to retirement outcomes.

The firm’s stated investment process draws on fundamental, technical and cyclical analysis and is implemented through client‑specific investment policy statements and risk assessments; retirement strategies explicitly use bucket planning and may combine securities with insurance company offerings. NAM encourages use of a recommended custodian (Altruist/Apex) while leaving the custodian choice to clients, provides quarterly account statements and annual performance reporting, and documents client objectives for ongoing review.

Distinctive features include an affiliation with an insurance business and a principal who is a licensed insurance agent and managing director of an affiliated insurance entity, with roughly half of the principal’s compensation derived from insurance commissions — a conflict the firm discloses and addresses in its policies. The firm is effectively a single‑owner practice with modest AUM, no reported discretionary assets, and an absence of a high‑net‑worth client segment, which differentiates it from many peers in its category.